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Developing, Appraising and Approving an Activity Design of 32 Document ID: REFE-21-28

Developing, Appraising and Approving an Activity

Design Guideline

Last updated: 22 September 2016 Approver: PDLT

Contents

Overview ........................................................................................................................... 2

Drafting Terms of Reference ............................................................................................. 3

Terms of Reference drafted by MFAT.............................................................................. 3

Terms of Reference drafted by the partner ..................................................................... 3

Approving the Terms of Reference ................................................................................. 3

Convening an Activity Design Team .................................................................................. 4

Identifying the design team .......................................................................................... 4

Contracting the design team ......................................................................................... 4

Briefing the design team .............................................................................................. 4

Developing an Activity Document Design Document ......................................................... 5

Content of an Activity Design Document ......................................................................... 5

Developing a Results Framework ................................................................................... 5

About Results Diagrams ............................................................................................... 6

Example of Activity and input table format ..................................................................... 7

About Results Measurement Tables................................................................................ 9

About Monitoring and Evaluation Workplans ................................................................. 11

About Transition or Exit Planning ................................................................................. 12

Appraising an Activity Design ......................................................................................... 13

Approving a Design ......................................................................................................... 13

Appendix A: Developing a Results Diagram ..................................................................... 14

Steps ....................................................................................................................... 14

Results Diagram Checklist .......................................................................................... 15

Example Results Diagram: Business Mentoring Programme ............................................ 16

Results Diagram: Activities and Input Table .................................................................. 17

Appendix B: Developing a Results Measurement Table ................................................... 18

Steps ....................................................................................................................... 18

Results Measurement Table Design Checklist ................................................................ 19

Results Measurement Table Format: Example ............................................................... 20

Results Measurement Table: Example .......................................................................... 21

Appendix C: Developing a Monitoring and Evaluation Workplan...................................... 24

Steps ....................................................................................................................... 24

Monitoring and Evaluation Workplan Design Checklist .................................................... 25

Example: Monitoring and Evaluation Workplan Format ................................................... 26

Example: Monitoring and Evaluation Workplan .............................................................. 27

Appendix D: List of Direct Results Indicators .................................................................. 30

Appendix E: Transition or Exit Planning Checklist ........................................................... 32


Overview

The Activity design process is intended to deliver a robust, high-

quality Activity design for which approval is received to proceed to

implement the Activity. The Outcome of the Design process is a

decision on whether or not to implement an Activity.

Prerequisite

Activity design can proceed once a concept has been approved and a

financial authority for design (PAA) issued, or once MFAT has

approved transition to a new, follow-up Activity.

Note: If the first knowledge MFAT has of a proposed Activity is when

we receive a completed design from a partner, then the next step is

to appraise the design (see the process Appraise an Activity Design).

Where to start

The next step in MFAT’s activity design process is to prepare terms of

reference for the design.

Main steps

The main steps in Activity design are:

1. MFAT and/or partner/s draft terms of reference.

2. MFAT obtains financial authority to design the Activity.

3. MFAT and/or partner/s identify, contracts and briefs an Activity

design team.

4. The Activity design team drafts the Activity Design Document,

which includes developing a results framework.

5. MFAT (and partner/s) appraise the design.

6. MFAT (and partner/s) approve the design.

7. MFAT obtains financial authority to implement the Activity.

8. MFAT finalises contractual arrangements for implementation.

http://teaka/PDG/CPS/Documents/02%20Processes/Develop%20Appraise%20and%20Approve%20an%20Activity%20Design%20Process.pdf


Drafting Terms of Reference

Terms of reference can be drafted by MFAT or a partner.

Terms of Reference drafted by MFAT

When the terms of reference are drafted by MFAT, the responsibility

for drafting the terms of reference sits with the activity manager.

The activity manager should consult internally and externally, and

involve specialists as necessary in preparing the terms of reference.

It is mandatory for the activity manager to use MFAT’s Templates for

Terms of Reference for Assignments (over 100k) or Terms of

Reference for Contracts for Service under 100k.

Detailed guidance for drafting terms of reference is available in the

Terms of Reference Guideline.

Terms of Reference drafted by the partner

When drafting the terms of reference is led by the partner, the use of

MFAT’s terms of reference template is not mandatory. The template

may be provided to partners for their reference to ensure that all the

information required by MFAT is included in the terms of reference.

Approving the Terms of Reference

The activity manager is responsible for seeking approval from the

relevant Unit Manager for terms of reference for Activity design. An

email approval is sufficient.


Convening an Activity Design Team

Identifying the design team

The terms of reference will specify the composition of the design

team and expected duration of the assignment(s). This may include

a team leader, specialists, and local consultants dependent on the

Activity.

Other donors may identify or provide team members for multi-donor

Activities. The critical point is to ensure clarity of roles,

responsibilities, reporting lines, and outputs to be delivered.

Contracting the design team

MFAT may contract part or all of the design team, contribute a

contracted team member to a design team, or provide funding to a

partner to undertake a design. Specialist skills may also be

contracted to support the procurement and negotiation of contracts, if

required.

Refer to the New Zealand Aid Programme Contracting Policy and

Guidelines for contracting processes.

Ensure financial approval has been obtained prior to contracting.

Briefing the design team

Written and oral briefing will ensure the design team has the

necessary information on the New Zealand Aid Programme’s:

Mandate

Policies including cross-cutting issues of gender, environment and

human rights

Strategic focus areas

Operating context.

When briefing the team, ensure they are provided with guidance on

the content of an Activity design and on the template to use. Refer to

the Activity Planning Policy and Activity Design Document Template.

http://bpportal/IDG/Contracting-procurement/

http://bpportal/IDG/Contracting-procurement/

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Developing an Activity Document Design Document

Content of an Activity Design Document

For standard MFAT-led Activity designs, an Activity Design Document

should comprise the content set out in the Activity Design Document

Template.

For non-standard Activity Design Documents (for Investment

Priorities), the minimum requirements are set out in the Activity

Planning Policy.

For partner-led designs, the design must meet MFAT’s minimum

content requirements but use of MFAT formats or templates is not

compulsory.

All designs must have a results framework or, for partner-led designs,

meet the key standards associated with each component of the

results framework.

Activity design should be evidence-based, drawing on all available

sources of information including research and evaluation findings to

help design for best results.

Developing a Results Framework

Purpose

MFAT uses a results-based approach to designing and managing

Activities. To ensure that Activity performance reporting is based on

clear and agreed results, a results framework is developed during the

design stage. The results framework is then used to track progress

towards intended results.

Refer to the Activity Planning Policy for the policy rules relating to the

results framework.

Components of a results framework

A results framework includes a:

Results Diagram

Results Measurement Table

Monitoring and Evaluation Workplan.

The following table summarises the minimum requirements at each

stage of the Activity cycle:

Activity Lifecycle Results Framework

Identification/Concept

Stage

Proposed key long-term outcomes and

goal identified and indicative outputs

Design Stage Results framework fully developed

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Activity Lifecycle Results Framework

Implementation (start) Results framework refined and updated

Implementation (ongoing) Results framework reviewed and

updated (documentation retained)

About Results Diagrams

Purpose of a results diagram

Results diagrams, and the process of developing them, help to ensure

that the intended logic for an Activity is clear and agreed by

stakeholders. The results diagram provides a visual representation of

how the outputs will lead to achievement of the outcomes and

ultimately the goal of the Activity.

MFAT’s standards for results diagrams

A results diagram:

Is represented as a vertical diagram for MFAT-led Activity design

Describes the Activity’s goal

Identifies and logically links together the Activity’s outputs, its

short-term, medium-term and/or long-term outcomes

Integrates cross-cutting issues by including outcomes for cross-

cutting issues considered ‘principal’ or ‘significant’

Includes outcome statements that:

clearly identify the change that is desired

do not overlap with other statements

include one outcome per statement

are relevant, specific, tangible, achievable, and measurable

Includes output statements that:

clearly identify what is being produced and/or delivered

will meaningfully contribute to the short-term and medium-

term outcomes, including those outcomes which address

principal and significant cross-cutting issues

include one output per statement

are relevant, specific, tangible, achievable, and measurable

Includes activities and inputs that:

clearly identify the activities required, which will lead to the

outputs of an Activity

clearly identify the required inputs to an Activity.


Results diagram format

For an example of the format of a results diagram, see Appendix A:

Developing a Results Diagram. Appendix A: Developing a Results

Diagram

Output OutputOutput

Long-term

outcome

Short-term

outcome

Medium-term

outcome

Long-term

outcome

Short-term

outcome

Goal of the Activity:

Example of Activity and input table format

Outputs

from the

Results

Diagram

Activities to Delivery Outputs Inputs to Resource

Activities

Output 1

Output 2


When to develop a results diagram

The results diagram should be developed as early in the design

process as possible. It will not always be possible to develop a

comprehensive results diagram at the start of the process (e.g.

concept note stage) as ideas may still be developing and key

stakeholders may not be available. However, it is useful to develop a

‘rough working’ diagram at the concept note stage so that the

outputs, and intended key long-term outcomes and goal are identified

early. The results diagram should then be fully developed during the

design stage (involving stakeholders), before being further refined at

the start of implementation, and regularly reviewed during

implementation.

How a results diagram works

The results diagram is developed as a vertical diagram representing

the Activity’s logic. The diagram shows how the Activity’s outputs

logically lead to key intended outcomes occurring over time and that

contribute to the Activity’s goal. The logic is shown by arrows. The

components of the diagram therefore represent change over time and

how the Activity’s goal is intended to be achieved. The results

diagram could therefore have at least four levels: output-level, short-

term, medium-term and/or long-term outcomes, and a goal level. It

would be unlikely that there would be less than two levels of

outcomes in the diagram as normally there would be a short-term

outcome to contribute to a longer-term outcome. In a more complex

results diagram there may be more that one outcome at different

levels.

MFAT would not generally expect to see its achievement directly

contributing to the goal-level as there will be a number of actors

contributing to and other factors affecting the achievement of the

goal. It is usually expressed as an intention and is usually at an

Investment Priority, population, government or country level. It may

link to the programme strategy, depending on the context.

Involving stakeholders

Results diagrams work best when they are developed involving key

stakeholders. This helps to foster a shared understanding about the

Activity, and each diagram will reflect the interactions and emerging

understandings of the stakeholders. There is no right or wrong results

diagram. The important thing is that the diagram reflects the

Activity, is clear and simple, and provides stakeholders with a shared

understanding and ownership of the intended results.


Process for developing a results diagram

The process for developing a results diagram varies depending on the

nature of the Activity and who is leading the design process. MFAT

staff may be developing results diagrams and also working with

contractors who are developing results diagrams. It is therefore

important that staff understand and are able to manage and engage

with the process. Appendix A: Developing a Results Diagram

identifies a series of steps that may need to be undertaken to develop

the results diagram.

Using a results diagram

The results diagram is the basis for results-based management of the

Activity.

At the design stage development of the results diagram provides a

clear, agreed logic showing how outputs will lead to the Activity’s

outcomes and goal, and it helps to plan the various activities and

inputs required for the Activity to be successful. The results diagram

is used as the basis for developing the rest of the results framework.

During implementation, the results diagram should also be used by

stakeholders (along with the results measurement table) to engage in

discussion about what progress is being made against the intended

results of an Activity. It becomes an effective tool in managing for

results and it helps identify any key decisions that are required to

keep the Activity on track towards achieving its outcomes.

About Results Measurement Tables

Purpose of a results measurement table

The results measurement table provides key information about how

the results identified in the results diagram will be measured, or in

other words, how the changes from the intervention will be identified.

MFAT’s results measurement standards

A MFAT results measurement table:

Has a row for each output and outcome (from the results table)

Has indicators, targets, baseline information and methods (how,

when and by whom) for measuring each output and outcome. The

indicators:

clearly identify the achievement of each output and outcome

are quantitative and/or qualitative

provide a balanced view of performance


include one or two Direct Results Indicators from the list of

Direct Results Indicators (see the document Direct Results

Indicators).

Note: Indicators should be collectable and collectable at

reasonable cost (human and financial resources).

Integrates cross-cutting issues by:

including outcomes and indicators for cross-cutting issues

considered ‘principal’ or ‘significant’, or

including indicators and/or disaggregated data for cross-

cutting issues considered ‘not targeted’ (or ‘partially

mainstreamed’ for gender)1.

Note: Gender should be at least partially mainstreamed in all

Activities (exceptions to this will require justification).

Note: For specifics on integrating climate change as a cross-

cutting issue refer to the Operational Policy and Guideline:

Delivery & Tracking Climate Change Related ODA.

Is limited to one or two pages, and no more than three pages.

Keep it simple.

Who develops results measurement tables

MFAT staff may be involved in developing results measurement tables

however it is most likely that a contractor who is a monitoring and

evaluation specialist will be leading this work. It is important that

staff understand and are able to manage and engage with the

process.

The process for developing a results measurement table should be as

participatory as possible as this improves the practicality of the

design and generates agreement and ownership about how results

are to be determined. Appendix B: Developing a Results

Measurement Table outlines steps that may need to be undertaken to

develop the results measurement table.

How a results measurement table works

The results from the results diagram are transferred to the results

measurement table, and appropriate indicators, targets, baseline

information, and methodology and data sources added.

Use of MFAT Direct Results Indicators

MFAT uses a list of Direct Results Indicators for its group-level

reporting (see the document Direct Results Indicators). It is

mandatory that one or two indicators in the results measurement

table are selected from the list of Direct Results Indicators, where

1 See AMS Policy Markers (link to be added).

http://o-wln-gdm/Functions/InternationalDevelopment/DevelopmentPolicy/PlanningAndResults/MFAT310%20Strategic%20Results%20Framework%20Poster_V6.pdf




relevant and appropriate. This allows MFAT to communicate

aggregated results. Headling Results indicators are only one element

within the table and should not replace other tailored output and

outcome indicators.

About Monitoring and Evaluation Workplans

Purpose of the monitoring and evaluation workplan

The monitoring and evaluation workplan identifies the key tasks that

are required to implement the results measurement table.

MFAT’s monitoring and evaluation workplan standards

For each monitoring and evaluation activity the workplan must

include information on:

the methods, approaches and tools to collect the information required

how and by whom the information will be used

the timeframe

respective roles and responsibilities

estimated budget (realistic and appropriate to scale and risk)

deliverables, such as reporting and dissemination requirements.

When to develop the workplan

The workplan should be developed during the design stage (involving

stakeholders), and refined at the start of implementation, and

regularly reviewed during implementation.

How to develop and implement the workplan

The information requirements documented in the results

measurement table are reinterpreted into a series of implementation

tasks. The workplan would then be reviewed early in the

implementation phase to ensure that it reflects the monitoring and

evaluation needs of the Activity, and what implementation tasks will

be needed, by whom, and when. Once agreed, the workplan should

be integrated into the Activity’s implementation planning, and

implementation progress reported regularly. Activity managers

should engage closely with implementing partners to ensure full

implementation of the results framework.

Who is involved

Contractors and partners are most likely to be leading the

development of a monitoring and evaluation workplan. However, it is

important that activity managers and Post staff understanding the

type of process and steps required to develop the Plan. The table in

Appendix C: Developing a Monitoring and Evaluation Workplan

identifies the common steps that are likely to be required.


About Transition or Exit Planning

Purpose

Transition or exit planning helps to ensure the intended horizon for a

single Activity is clear and that key steps prior to and post-completion

are agreed among stakeholders. The purpose is to support the long-

term sustainability of Activity outcomes.

When to do transition or exit planning

Transition or exit planning should occur during the Activity planning

phase. At the concept stage, it is not always possible to know

whether transition or exit will occur at the end of an Activity. (But it

is still useful to have a conversation about the intended horizon for

MFAT engagement, so that even where there is a long term

commitment of support, early on there is clarity on what is proposed

by way of sustainability and / or follow-up, and the proposed Activity

end date.)

During the design stage, transition or exit planning should be

undertaken more fully (with stakeholders), before being monitored

and refined during Activity implementation.

Who is involved in transition or exit planning

Depending on the nature of the Activity and who is leading the

planning process, implementing partners and MFAT staff are most

likely to be involved in transition or exit planning, and also working

with contractors who are developing Activity designs. (See Appendix

E: Transition or Exit Planning Checklist to help.)

Stakeholders

Transition or exit planning should be as participatory as possible as

this helps foster a shared understanding of what is proposed by way

of sustainability and / or follow-up, and when an Activity will end, and

improves ownership of preparing for completion and sustainability of

outcomes.

Using transition or exit planning

Transition or exit planning will enable more emphasis to be given to

sustainability of outcomes, and during implementation is an effective

tool in managing preparations for Activity completion.


Appraising an Activity Design

Once a draft design has been received it must be appraised. Refer to

the Appraising an Activity Design Guideline.

Approving a Design

The Programme Unit Manager or Divisional Manager is

responsible for approving the design documentation according to

the table below.

Where an Activity is being designed and implemented by different

divisions or Posts, the Activity Design Document must also be

accepted by a Unit Manager in the implementing division or the

Development Counsellor or HOM at the implementing Post.

Note: Approval of the design document does not constitute any

financial authority necessary for the implementation stage. The

necessary financial authority can be granted after approval of the

design and is governed by the Financial Delegations operational

policy. The financial authority to commit funds for Activities over $7

million can only be approved by the Minister.



Appendix A: Developing a Results Diagram

Steps

The steps in the table below show a stepped approach to developing a results

diagram. The steps are underpinned by the need for the process to be as

participatory with stakeholders as possible as this will help to improve the

practicality of the design and broad agreement and ownership of the Activity and

its intended results. The process is best guided by a facilitator experienced in

results diagram development.

Step Action

1 Obtain a facilitator

2 Develop (or ensure) a shared understanding amongst stakeholders of:

What a results diagram is, and its purpose

How the results diagram fits within the design and implementation (including

the results framework and how it will be used)

The meaning of ‘output’ and ‘outcomes’ (short-term, medium-term and long-

term outcome) and goal.

3 Organise materials for developing a visual diagram of the logic e.g. white board or

large sheets of paper, sticky notes, pens etc

4 Discuss the aspects of the Activity that have already been determined (e.g. goal,

long-term outcome/s, outputs, the issue that is to be addressed)

5 Brainstorm the other outputs and outcomes required to achieve the long-term

outcome/s

6 Write down (e.g. on sticky notes) the outcomes and outputs that have been

identified (this can be done while discussing and brainstorming), and put these on

the whiteboard/paper with the long-term outcomes at the top, followed by the

shorter-term outcomes, and outputs at the bottom

7 Move the sticky notes around until everyone is satisfied they are in the right place.

Add, integrate, or take away sticky notes as necessary. Notes that are inputs or

activities aren’t to be included in the diagram but should be documented (e.g.

below the diagram).

8 Draw arrows from the outputs up to first level of outcomes, then up to the

outcomes at the next level (or if appropriate, skip a level). The arrows show how

each output or outcome is intended to lead to another outcome/s. Arrows can only

go up or sideways (minimise the latter). Using ‘if then’ statements can be helpful.

9 Do a ‘backwards check that the higher level outcomes can be achieved from

shorter-term outputs and outcomes. If not, then the outputs or shorter-term

outcomes may need amending or others added.

10 Take a record of the results diagram. The diagram will be used as the basis for the

design and implementation (resourcing, activities, timelines) of the results

framework


Results Diagram Checklist

Use this checklist to check the results diagram.

Provides a logical representation of the stages necessary for

achieving the intended outcomes.

Clearly shows the relationships/ linkages between outputs and

outcomes using arrows (i.e. the outputs that are intended to lead to

which outcomes, and how these outcomes will lead to longer-term

outcomes)

Outcomes are stated clearly and succinctly, describe the change and

are phrased as an end state

Outcomes are relevant, specific and tangible, with one outcome for

each statement


Example Results Diagram: Business Mentoring Programme

Business mentoring Application materials Operations manualPromoting and advertising

plan for the fund

A high number of strong applications received across

the sectors

Business Initiatives funded

Profitable business developedImproved sustainable livelihoods for grant

awardees and their families

Increased entrepreneurship from within supported

businesses and from other spin-off business

Increased private sector contribution to GDP across all

sectors, especially targeted sectorsImproved livelihoods for citizensIncreased trade (exports)

Key outputs

Long term

outcomes

Activity’s Goal: increase economic development fostered through a greater contribution from the private sector

Medium term

outcomes

Short term

outcomes


Results Diagram: Activities and Input Table

Outputs from the

Diagram

Activities to Deliver Outputs Inputs to Resource Activities

Business

mentoring

Develop a mentoring approach and

provide training for Ministry of

Economic Development (MoED,

Partner Government) staff

Funded as part of the Grant

Funding agreement with the

MoED

Mentoring Plan developed with

clients, and mentoring provided

Collect feedback and revise

approach after one year

MoED will provide staff time

Technical Advisor: up to 40 days

will be spent supporting

development of the service

Application

materials

Develop application form/template

(include in the operations manual)

and distributed applications



MoED

Collect feedback and revise prior

to the 2nd application round



will be spent developing, revising

and re-developing the

application materials

Operations

manual

Develop operations manual for the

fund



MoED





of the advisor’s time will be

spent developing, revising and

re-developing the operations

manual, including 40 days in the

first three months

Promoting and

advertising plan

for the fund

Develop advertising and promoting

Plan for the fund



MoED





support


Appendix B: Developing a Results Measurement Table

Steps

Follow these steps to develop a results measurement table where the

design is MFAT-led (MFAT designed or contracted).

Step Action

1 Obtain a facilitator

2 Develop a table with headings as shown in the examples

3 Place the outcomes and outputs that were identified by the

results diagram in the table. Place long-term outcome/s at

the top of the table followed by medium-term and short-

term outcomes below. Outputs contributing to the outcomes

should be placed below the outcomes

4 Develop an indicator(s) for each output and outcome

5 Identify the baseline data and identify targets (stretch but

achievable) for each output and outcome. And note where

any further analytical work will be required in the very early

stages of implementation to determine baselines or targets

6 Include one-two indicators from the Direct Results Indicator

list where appropriate (see Activity Planning Policy)

7 Note method/s for each indicator. This is a method to collect

information about the progress towards achieving the

outcome or output

8 Any risks to achieving results that are identified during

development should be transpose into the Activity Risk

Matrix



Results Measurement Table Design Checklist

Use this checklist to check the results measurement table:

Outputs and outcomes from the results diagram are the basis of RMT

Includes indicators that measure the achievement of the

output/outcome

Contains targets and baseline information so the extent of change

can be determined

Identifies the method to be used to collect information for each

indicator, and the methods are appropriate

Includes one-two Direct Results Indicators

Risks to success have been transposed into the Activity Risk Matrix


Results Measurement Table Format: Example

The results measurement table shows key indicators and sources of data for monitoring and evaluation of Activities.

Results Indicator(s) Baseline Information and Targets Methodology and Data Sources

Long-Term Outcomes

Medium-Term Outcomes

Short-Term Outcomes

Outputs


Results Measurement Table: Example

Results Indicators Baseline Information and Targets Methodology and Data Sources

Long-term outcomes

Increased private sector

contribution to GDP across

all Investment Priorities,

especially targeted

Investment Priorities.

Indicator 1: Change in dollar value

of the private sectors’ contribution

to GDP

Indicator 2: Change in the dollar

value of the private sectors’

contribution to GDP in the targeted

Investment Priorities

Information is available but not up to-

date. Will be available in one month, at

which time a trend analysis will be used

to inform target setting

Quantitative information is available each

October from the Ministry of Finance

(partner Government). There is a one year

lag in available information i.e. 2009-10

information will be available in October

2012. Contact is DG.

Increased trade (exports) Change in the dollar value of

exports

Baseline: value $1.25b in 08-09 Target:

value $1.3b by 10-11 and

value $1.4b by 11-12

Information is available each October from

the Ministry of Finance. There is a one year

lag in available information i.e. 2010-11

information will be available in October

2012. Contact is DG.

Improved livelihoods for

citizens

Change in the UNDP HDI value Baseline: 0.714 (2009) Target: 0.730, 2011; and 0.740, 2012

UNDP HDI web publication. See

http://hdr.undp.org/en/content/human-

development-index-hdi

Increased entrepreneurship

from within supported

businesses and from other

spin-off business

Indicator 1: Change in annual

revenue of the initiatives funded

Baseline: calculated from the first set of

approved applications

Target: increase by 10% in year 1, 2 &

3 and then sustained at the level for

year 3

Information taken from applications. See

income and cost fields

Quantitative information available from the

Ministry of Finance (contact DG).

Information is published in August of each

year and there is a one-year lag. i.e. 2009-

10 information will be available in August

2012

Indicator 2: Change in the number

of new businesses operating in

each targeted Investment Priorities

Baseline: Agriculture 130 (2009), Tourist

35 (2009), Fisheries 22 (2009)

Target: increasing in each Investment

Priorities by year three

http://hdr.undp.org/en/content/human-development-index-hdi

http://hdr.undp.org/en/content/human-development-index-hdi



Medium-term outcomes

Profitable business

developed

Change in the annual profit

(revenue minus costs) of the group

of private sector businesses funded


approved applications

Target: increase by 5 percent in year 1,

2 and 3, and then sustained at the level

for year 3


income and cost fields

Improved sustainable

livelihoods for grant

awardees and their families

Change in the livelihood

assessment; disaggregated by

gender


approved applications Target: improved by more (i.e. a bigger

increase) each year for the three years


livelihood analysis. The livelihood analysis

will be repeated annually by field-workers

within one month of their funding

anniversary date

Short-term outcomes

A high number of strong

applications received across

the Investment Priorities

Number of applications received

that are rated by the panel as

strong for each of the three

Investment Priorities;

disaggregated by gender (lead

applicant)

Baseline: first application round will

provide the baseline for future

application rounds Target: improved for future application

rounds

Information completed on the

application assessment summary sheet

for each application (see ‘application

quality rating’ field). To be averaged

(aggregated and divided by the number

of applications)

Business initiatives funded Number funded each round;

disaggregated by gender (lead

applicant)

Baseline: 0 Target: year 1, 10; year 2, 15, year 3,

15.

Information to be reported in the co-

ordinating Ministry’s ‘End of Round

Report’.

Outputs

Business mentoring Indicator 1: Agreed activities under

each mentoring plan completed

Analysis to be carried out by co-ordinating

ministry and reported annually.

Indicator 2: Number of people

receiving business mentoring (i.e.

Direct Results Indicator no. 12);

disaggregated by gender

Baseline (2nd, 3rd and 4th indicators):

First year of funding for the businesses

funded in the first application round will

provide a baseline.



Indicator 3: Number of private

sector entities provided with

support (i.e. business mentoring)

Target:

1st indicator, all agreed activities

completed on time; 2nd, 3rd and 4th

year indicators, increased each year

from year two.

Indicator 4: Average number of

mentoring activities per business

Application materials Application materials contain

required information, and are

available at all key sites at least

four weeks before applications

close

Target: on-time and available to key

stakeholders

Evaluative assessment

Operations manual Suitable manual developed by

August 2010

Target: manual of an appropriate

quality, signed-off by the steering

committee by September 2010


Promoting and advertising

plan for the fund

Suitable Plan developed by October

2010

Target: Plan of an appropriate quality,

signed-off by the steering committee by

November 2010


Developing, Appraising and Approving an Activity Design of 32 2530344v13

Appendix C: Developing a Monitoring and Evaluation

Workplan

Steps

Follow these steps to develop a workplan where the design is MFAT-

led (designed or contracted by MFAT).

Step Action

1 Identify a facilitator

2 Develop a table with headings as shown in the examples

3 Determine what monitoring and evaluation tasks will be

required and include them in the left column of the table in

chronological order

4 Detail in the table (Approach column) the methods, processes

and tools for each task

5 Include the timeline for each task (incl. start, finish and any

key milestones)

6 Identify in the table who is responsible and their role

(designation and organisation) for each task

7 Identify what deliverables, reporting and information

dissemination are associated with each task

8 Cost each task and include in the table (right-hand column)

9 Sum the costs and include a budget for monitoring and

evaluation, and identify any shortfall

Developing, Appraising and Approving an Activity Design of 32 2530344v13

Monitoring and Evaluation Workplan Design Checklist

Use this checklist to check the workplan.

Monitoring and evaluation tasks are sufficient to implement the

RMT

The approach (methods, processes and tools) are clear and

include sufficient detail for implementation and reporting

Timeline included and is reasonable

Responsibilities and roles are assigned, clear and appropriate

Costs for each task are complete and realistic

Budget is complete and realistic and any funding shortfalls are

identified


Example: Monitoring and Evaluation Workplan Format

Approach: Includes the methods and processes we will use in undertaking the monitoring and evaluation activities

Reporting & Deliverables: What and how the information be reported; to whom and by when; How the findings will be shared and used.

Monitoring & Evaluation

Tasks

Approach Timeline Roles and

responsibilities

Deliverables and Reporting Indicative

Costs

Monitoring

Evaluation

TOTAL INDICATIVE

COSTS

$

Overall Monitoring and Evaluation Budget

Funding source $

Funding source $

TOTAL BUDGETED $


Example: Monitoring and Evaluation Workplan

Approach: Includes the methods and processes we will use in undertaking the monitoring and evaluation activities

Reporting & Deliverables: What and how the information be reported; to whom and by when; How the findings will be shared and

used.


Tasks

Approach (methods, processes

and tools)

Timeline Roles and

Responsibilities

Deliverables and Reporting Indicative Cost

Monitoring

Step 1: Design monitoring system

1.1 Design and implement

data collection at

application stage

Design form

Establish system to store, collate

and analyse information

June

2010

Lead: MoED

Support: Advisor

Fit-for-purpose application

form produced by end of June

MoED staff time

TA funding: 1 day

($2k)

1.2 Design applicant

assessment data

collection tool and

processes

As part of the operations manual

development, develop and then

establish system to assess and

report on the quality of application

June –

July 2010

Lead: MoED

Support: Advisor

System established by end

July 2010

MoED staff time

TA funding: 0.5 day

($1k)

1.3 Design end-of-

application round

secretariat reporting

Design report format

Ensure systems in place for

information reporting

June-July

2010

Lead: MoED

Support: Advisor

Report template available MoED staff time

TA funding: 0.5 ($1k)

1.4 Design fieldworker data

collection tool and

processes

Design reporting form

Establish system to store, collate

and analyse information

Train field staff

June-July

2010

Lead: MoED

Support: Advisor

Fit-for-purpose reporting

forms produced and

assessment process

established and staff trained

by end of July

MoED staff time

TA funding: 1 day

($2k)

Step 2: Collect baseline data

2.1 Collect baseline data

all, relevant, indicators

Assess information gaps and

establish or confirm information

availability

July 2010 Lead: Advisor Information available TA funding: 2 days

($4k)

MoED staff time



Tasks


and tools)

Timeline Roles and

Responsibilities


Step 3: Implement monitoring

3.1 Collect applicant

assessment data and

field worker data

Based on tools and processes

determined in step 1

Ongoing Lead: MoED System operating by October MoED Staff time

3.2 End-of application

round reporting

Ongoing Lead: MoED Reporting through the end-of

application round secretariat

reporting

MoED Staff time

Evaluation

Plan and undertake year three evaluation

4.1 Develop terms of

reference,

Identify in consultation with key

stakeholders the purpose, scope,

objectives

Document and confirm ToR with

the Steering Committee (re-

confirmed later)

June-July

2010

Lead: Advisor

Support: MoED

Documented and agreed

terms of reference

TA funding: 2 days

($4k)

4.2 Consult with

stakeholders and

develop evaluation

plan (to be agreed)

Identify and contract evaluator June-July

2012

Lead: MoED

Support: Advisor

Agreed and high-quality

evaluation plan

Grant funding: $16k

to contract evaluator

Develop & agree evaluation plan

incl. methods and resources needed

(responsibility: evaluator)

June-July

2012

Lead: Advisor

4.3 Undertake year three

evaluation

Complete the evaluation June-Aug

2013

Lead: Evaluator

Support: MoED

Evaluation report signed-off

by Evaluation Steering Group

Grant funding for

contractor(s)$70k

4.4 Year three evaluation:

Report results &

develop action plan to

strengthen on-going

delivery

a) Present results Sep 13 Lead: Evaluator Presentation on the results

Workshop: response to the

evaluation, workplan to

strengthen services

Grant funding: $20k

b) Workshop to determine

response to results and how

services will be strengthened

Sep 13 Lead: MoED

Support: Advisor



Tasks


and tools)

Timeline Roles and

Responsibilities


Overall Monitoring and Evaluation Budget

Grant Funding $106k

TA Funding $14k

TOTAL FUNDING $120k

Developing, Appraising and Approving an Activity Design of 32

Document ID: REFE-21-28

Appendix D: List of Direct Results Indicators

Table 2: New Zealand Aid Programme Direct Results Indicators

Investment

Priority

Direct Result Indicator

1. Renewable

Energy

1.1D: People provided with new or improved electricity supply (No., M/F)

1.2D: Installed renewable energy capacity of new or upgraded infrastructure

(Megawatts)

1.3D: Renewable energy generated/produced per annum (Megawatts/hour)

2. Agriculture 2.1D: Additional value of agricultural production ($/ % change)

2.2D: People assisted (through training, access to agriculture technologies and

advisory support) to increase benefits from agriculture sector (No., M/F)

2.3D: Additional agriculture jobs created (Activity specific) (No.)

3. ICT 3.1D: People provided with new or improved ICT services (telecommunications

and /or internet) (No., M/F)

3.2D: People assisted (through training and advisory support) to increase

economic or social benefits from the use of ICT services (No., M/F)

3.3D: Government agencies, organisations or business entities assisted (through

advisory support) to increase benefits from ICT services (No.)

4. Fisheries 4.1D: People assisted (through training and advisory support) to increase

benefits from fisheries/aquaculture sector (No., M/F)

4.2D: Number of identified legislation, plans, strategies that have been agreed

and implemented (No.)

4.3D: Additional value from aquaculture production ($, % change)

5. Tourism 5.1D: Additional tourists (Activity specific) (No.)

5.2D: Additional tourism jobs created (Activity specific) (No., M/F)

5.3D: People assisted (through training or advisory support) to increase benefits

from tourism sector (No., M/F)

6. Trade and

labour mobility

6.1D: People assisted (through training or advisory support) to increase benefits

from trade (and labour mobility) sector (No., M/F)

6.2D: Government agencies, organisations or business entities assisted (through

advisory support) to facilitate trade and / or increase benefits from trade (and

labour mobility) sector (No., M/F)

6.3D: People employed through labour mobility initiatives (including Recognised

Seasonal Employer Scheme) (No., M/F)

7. Economic

Governance

7.1D: Countries that have received advisory support to strengthen economic

governance through bilateral engagements (No.)



Table 2: New Zealand Aid Programme Direct Results Indicators

Investment

Priority

Direct Result Indicator

8. Law and

Justice

8.1D: People assisted (through training or advisory support) to strengthen law

and justice systems. (No., M/F)

8.2D: Government ministries and non-government organisations assisted

(through advisory support, training) to increase benefits from strengthened law

and justice systems. (No.)

9. Health

9.1D: People that have received specialist health advice and treatment (No.,

M/F)

9.2D: People that have received essential medicines and care at primary health

facilities (No. M/F)

9.3D: Health professionals trained (No., M/F)

9.4D: People provided new or improved water supply (No., M/F)

9.5D: People with new or improved basic sanitation (No., M/F)

10. Education

10.1D: Children assisted in primary and secondary education (through sector

support) (No., M/F, per annum)

10.2D: Teachers trained (No., M/F)

10.3D: People that complete vocational training (No., M/F)

10.4D: People that complete tertiary scholarships (No., M/F)

11. Resilience 11.1D: People trained to strengthen resilience (disaster risk reduction and

climate change adaptation) (No., M/F)

11.2D: People trained to strengthen disaster preparedness (No., M/F)

11.3D: Government agencies, organisations supported to strengthen (national

and regional) resilience (disaster risk reduction and climate change adaptation)

(No.)

11.4D: Number of project proposals supported and submitted to the Green

Climate Fund (No.)

12.

Humanitarian

response

12.1D: Vulnerable people provided with essential and useful assistance following

a natural or human induced disaster within Pacific and outside the Pacific (No.,

M/F)

12.2D: New Zealand responses to natural disasters in the Pacific that are

launched within mandated timeframe (No. %)



Appendix E: Transition or Exit Planning Checklist

Transition or exit planning should suit the particular context of the Activity, so

details will vary. The checklist below intends to support activity managers:

Shared understanding among stakeholders of the Activity end date

Clear sense of whether MFAT plans to exit from the Activity or

transition to a new, follow-up Activity

If transition, brief description of what is intended for the new, follow-

up Activity, anticipated approach or modality and partner(s), if known

If known, outline of key steps prior to and post-completion that are

necessary to address issues likely to affect the sustainability of

outcomes, including monitoring and evaluation tasks

If known, identification of inputs, timeframes, responsibilities and any

capacity development required for carrying out each step

Consideration of expectations / roles of other donors

Integration of cross-cutting issues by:

- Providing for women’s meaningful and equitable participation

in transition or exit planning,

- Including steps that provide opportunities to address cross-

cutting issues considered ‘principal’ or ‘significant’